Commercial network licensing system

ABSTRACT

A commercial network licensing system is disclosed for monitoring use of software on computers. A client licensing module is provided that is associated with a client software application to be monitored. A file server that is in network communication with computers running the client application includes a licensing module that is in network communication with the client licensing modules on the computers. The licensing module monitors the use of the client software applications and sends a report to a license server over a public IP-compliant network.

CROSS REFERENCE TO RELATED APPLICATIONS

This application is a continuation of co-pending U.S. patent applicationSer. No. 10/079,221, filed Feb. 19, 2002, incorporated herein byreference in its entirety, which is a continuation of U.S. patentapplication Ser. No. 09/128,652, filed Aug. 4, 1998, which is acontinuation of U.S. patent application Ser. No. 08/607,081, filed Feb.26, 1996, now issued as U.S. Pat. No. 5,790,664.

BACKGROUND

The present invention relates to software licensing, and in particularto a system for automated monitoring and management of licensedsoftware.

It is well known that software is not purchased, but only licensed foruse. Software, unlike manufactured products, can be freely copied anddistributed. Hence, software providers are largely limited in theirchoice of control means. Unfortunately, a software license is merely alegal mechanism, and cannot literally prevent illicit copying ofproprietary software. A typical software license grants a permit to usethe licensed software application on a particular machine and, perhaps,the generation of backup copies for personal use. A software licenseprovides a software provider with a legal instrument againstimpermissible use of licensed software. However there remains noeffective mechanism for preventing or monitoring illicit copying orillegal proliferation in the first place. Hence, software providers mustrely on the public to not pirate software, and rely on their licenseesto abstain from furnishing copies of software to friends or others. Asignificant amount of software piracy occurs in commercial settings.Commercial licensees are usually vigilant about license compliance.However, even the most attentive MIS manager (Management InformationSystems) cannot prevent employees from copying software off of companymachines for their personal use. As a result of illicit copying,software providers must adjust their prices, forcing legitimate buyersto pay higher prices to offset revenue losses.

Although the estimates for losses due to piracy are estimated in thebillions of U.S. dollars, such estimates remain mere projections. Thisis because their way of determining how widely software is copied. Morespecifically, there is no mechanism by which to monitor theproliferation and use of software, copied or otherwise. Statisticsregarding the use of legitimately purchased software also remainsunknown to software providers and vendors. Despite sales data, purchasedsoftware may be found ineffective by users and sit, unused, on harddrives. Consequently, software providers may not have a firmunderstanding of how their products are being received by users. Whetherused or not, most proprietary software contains some security mechanismand/or registration mechanism.

There are a number of schemes designed to prevent software from beingcopied, or to make use of copied software unduly burdensome. Theseschemes, however, are largely ineffective, complex, and add todevelopment costs. Furthermore, for every protection scheme devised byprogrammers, there are hackers who will diligently go about underminingthem. A first line of defense is to encourage legitimate users toregister their licensed software.

Registration of software provides a software provider with a record of avalid license. Registration typically involves filling out and mailing aregistration card that is provided in an off-the-shelf software package.A user may be asked to write in the serial number of the software set,along with other pertinent information. The defense mechanism inregistration, albeit weak, is that a software provider will only renderassistance and support to properly registered users. That is, a softwareprovider will refuse to grant assistance to a user unless the user hasproperly registered their software.

The registration process also may involve responding to promptsgenerated by the software when it is first run. The prompt may be asecurity system asking the user to enter the serial number and/or acodeword to enable the software. The codeword may be a word appearing atprompt-designated locations in a user manual. This security schemeoperates on the premise that a pirate will not ordinarily have a copy ofthe user manual. After the software is up and running, it mayperiodically prompt the user to re-enable the software by entering adifferent codeword appearing at varying locations in the user manual.This scheme is subverted by copying the manual and registration number.

An on screen registration/enablement process may involve writing theregistration number to disk. This is only possible with floppy disks asCD-ROMS are, at present, a largely read-only medium. If the disk is usedagain to load the software application, the software may prompt the userwith a warning that the software has already been loaded (e.g., “ISLOADING OF THIS SOFTWARE PERMITTED? RECORDS INDICATE THAT THIS SOFTWAREHAS ALREADY BEEN LOADED. YOU MAY BE IN VIOLATION OF YOUR LICENSEAGREEMENT.”). However, reloading of software may be normal in the eventof hard disk failure. Consequently, software providers cannot feasiblyprevent the software application from being loaded more than once.Furthermore, if first run registration enablement is required, copierscan simply copy the software repeatedly prior to registering theoriginal copy.

Another security technique is to enable a software application for adefined period of time. This usually involves incorporating a date/timechecking mechanism into the software application. Such a mechanism maybe used where a software provider wants to supply, for example, a 30-daydemonstration version of a software application for user evaluation. Ifthe user decides to purchase a license following the evaluation period,the user may contact the software provider and supply paymentinformation. Following approval (e.g., credit card) or receipt (i.e.,check) of the payment, the software provider may supply the user with aregular copy of the software, or provide instructions or a codeword todisarm or reset the date/time checking mechanism.

In operation, a date/time checking mechanism records a date/time stampwhen a software application is first brought up. Alternatively, or inaddition, the date/time mechanism may start a timer when the applicationis brought up. The date/time stamp is compared with the system date/timeinformation maintained by the computer to determine if the softwareapplication is to be disabled. To subvert such a system, users have beenknown to reset the system date and system time to prevent expiration. Inresponse, some software providers have resorted to writing complex codeschemes to disable the software in the event that the system date istampered with. Such a security mechanism is often used to controllicensed software used in a commercial setting.

Software sold for use in a commercial or institutional setting isfrequently licensed for a predefined period of time. When such softwareis used on desktop computers, such computers are typically networked.The networked computers are usually connected to a file server, whichfile server may itself be tended by a computer management system thatmonitors and controls various file server groups. The file servercomputers act as a central location at which the desktop computers inthe file server group can access files and applications. The file serveralso may facilitate the control of licensed software on the desktopcomputers. This occurs in the situation where the commercial softwarelicense is a so-called “floating license.”

Commercial software licenses for operating a plurality of desktopcomputers normally are of two varieties: “fixed” or “floating.” A fixedlicense permits a software application to run on certain designatedcomputers (e.g., computer numbers one through five, in a ten computerfile server group, are designated for the licensed softwareapplication). A floating license permits a certain number ofapplications to run on any number of computers at a given time. So anapplication operating under a floating license may be allowed tosimultaneously run on no more than ten of twenty computers in a networkat any given time. Licensing management software is maintained in thenetwork file server to monitor the number of floating licenses beingused.

Commercial software is prone to installation interruptions, as it almostalways requires involved enablement procedures. In accordance withregular industry practices, commercial software applications areordinarily enabled following their installation by contacting thesoftware provider for enablement instructions and/or enabling codes.This process is rarely instantaneous. The software provider usuallyconfirms that the software license is proper and paid for before faxing,e-mailing, or even using regular mail, to provide a set of enablinginstructions, enabling codes, or disk(s) with which to bring theapplication up. Consequently, the software remains disabled untiladditional instructions are supplied and followed, which are usuallysent only after an enablement request is approved.

Management of floating licenses on networked computers involves twocontrol software components: an application portion, and anauthenticator portion. The application portion is nested within anapplication running on a desktop computer. The authentication portion isa code module contained in the file server that monitors and authorizesapplications running on the desktop computers. When a user attempts toopen the application software, the application portion code communicateswith the authenticator code module to check to see if a floating licenseis available. If the maximum number of floating licenses are alreadybeing used, the software application is not allowed to open. Licensingcontrol software also may be used to monitor defined term licenses todisable software in networked machines after license expiration.

If a commercial license expires, the software may be disabled,midstream, preventing users from completing projects. Re-enablementrequires contacting the software provider to purchase an additionallicense or extension. This may require re-execution of enablementprocedures with new instructions or codes. Hence, it may take some timebefore the software application is up and running again, which situationcan seriously inconvenience users.

The common shortcoming shared by all licensed software, is that itrequires some form of manual intervention for registration, enablement,and/or re-enablement. Manual intervention is cumbersome and can rendersoftware useless until it is enabled or re-enabled. The paramount issueis, however, that software providers have no mechanism for monitoringand controlling the actual use, whether legitimate or illicit, of theirproduct. Proprietary software is misappropriated on a global scalecausing massive losses to software providers, which losses areinevitably passed on to legitimate licensees.

What is needed is a licensing system that allows software use to bemonitored in an automated fashion, without user input. Moreover, asoftware licensing system is needed that permits a software provider totransparently control the use of licensed software.

SUMMARY

The present invention addresses the foregoing problems by providing asystem for automatically determining whether a software application islicensed. In accordance with the invention, a generic licensing module,or “client module,” is provided that a software provider can attach to asoftware application. A software application having a client moduleattached thereto is hereinafter referred to as a “client application.”In accordance with preferred embodiments of the invention, a clientapplication loaded on a computer having access to a public network, suchas the Internet, automatically reports to a computer maintained by asoftware provider. The client module is a program, application, or likecomposition of code that is preferably nested in a compiled version of asoftware application (i.e., to form a client application).

However, the client module can, in alternative embodiments of theinvention, be attached to a previously compiled software application.Whether it is referring to a program nested in, or attached to asoftware application, the term client module is used throughout thepresent disclosure.

A client module utilizes the public network as a means to transparentlysend license inquiry request messages to, and receive license inquiryresponse messages from, a license server maintained by a softwareprovider. The license server has a database on which licenseinformation, or records, are stored. The license server also can recordinformation contained in license inquiry request messages, and therebyaudit use of client applications. The license record can identify alicense in accordance with a hardware address, or hardware identifier ofthe computer, such as an IP address.

Operation of an exemplary system incorporating the invention involvesthe client module in a client application generating inquiries that aresent to the license server in the context of an Internet communicationsession. The license server responds to the inquiry by investigating itsdatabase to determine whether a corresponding license record is present.The license server then forms an appropriate response message that issent back to the client module.

If it is determined that the client application is not licensed (i.e.,the database does not contain a corresponding license record), theresponse sent by the licensing server does not allow the clientapplication to be enabled. If the client application is licensed (i.e.,the database contains a record of a license), the response can allow theclient application to be enabled, or re-enabled. In sum, the clientapplication must be enabled for it to properly operate. Communicationbetween the computer and the licensing server is generally transparentto a user. That is, the client module automatically forms a connectionwith the license server, sends a message, and receives a response, allwithout user input or notification.

Alternatively, an exemplary embodiment of the invention can be used tomonitor use of client applications. Operation of an exemplary systemincorporating the invention for monitoring client application useinvolves using the client module in the client application to generatemessages that are sent to the licensing server. Such messages can besent over any public network to which a user computer, upon which theclient application is loaded, is connected. For example, a message canbe sent to the license server in the context of an Internetcommunication session. The license server tracks, or audits, the use ofclient applications by recording pertinent information contained in amessage generated by a client module. A database can be used to storethe information. A software provider or vendor can access recordedinformation stored in the database to generate client application usereports. Such an auditing system can be a part, or a function of, asystem for enabling, validating and/or disabling licensed software(i.e., client applications). When configured as such, audit data can bederived from license inquiry request messages. Furthermore, the licenserecord database in the license server can be used to store the collectedaudit data. Alternatively, a separate database can be used.

In a personal computer setting, an exemplary process in accordance withthe invention may involve utilizing a modem, or like device, in thecomputer. The client module generates and sends a license validityinquiry request message to a regional or central license servermaintained by the software provider. The license server contains anagent module for communicating with the client module and a databasecontaining license records. The database in the license server ischecked to see if a valid license record exists for the requestingclient application and computer. If so, a message is transmitted backthat allows enablement or re-enablement of the client application. Thelicensing server also can record information corresponding to therequest in the database containing the license records, or in adifferent database.

If a license record is not found, the client application is not enabled.A menu can be presented asking whether the user would like to purchase alicense, and thus enable the software. The menu may direct a user to aWeb homepage where a license can be purchased, automatically open asession to such a homepage, or provide a telephone number of a salesrepresentative or automated operator. Optionally, the user can initiatea demonstration mode of operation to evaluate the client application.

In a commercial or institutional computer environment (i.e., networkedcomputers), a licensing system in accordance with exemplary embodimentsof the invention can involve a hierarchical arrangement of licensingmodules arranged between client application(s) and a license server. Atthe desktop computer level, a client module monitors one, or more,software applications on the desktop computer. Computers, such as fileservers, residing at each level of the network, between the desktopcomputers and the license server, contain licensing modules. Licensingmodules include an agent component for communicating with a downstreamclient, a cache component for interim storage of license information,and a client component for communicating with an upstream agent.

Operation in an exemplary process involves the client module in adesktop computer communicating upstream with an agent component in alicensing module. A client component in that licensing modulecommunicates upstream with an agent component in a next licensingmodule, whose client component, in turn, communicates with a nextupstream agent, and so on. This arrangement is continued upward toconverge on a license server which contains an agent module. However,the license server is maintained by the software provider. Consequently,the uppermost licensing module in the institutional network communicateswith the license server by initiating a connection over a publicnetwork, such as the Internet. License enablement information issupplied to the upper-most licensing module by the license server, whichinformation is propagated back downstream via the licensing modules. Thecache components in the licensing modules can be used to store licenserecords so that license inquiries can be addressed without having toforward the validation inquiry request messages to the license server.

In a preferred embodiment of the invention, as applied in a networkenvironment, the client and agent elements are generic. That is, clientmodules in the desktop computers and client components in each of thenetwork level computers are substantially similar. Agent components inthe licensing modules and the agent module in the license server alsoare substantially similar. The cache components of the licensing modulesare used to store information that defines the structure of licenserecords. Any client can communicate with any agent and vice versa. Thisarrangement facilitates network configuration flexibility.

Operation of an exemplary system incorporating the invention in thenetwork environment involves a client module in a client applicationforming and communicating a license validity inquiry request messageupstream. An agent component in a nearest upstream licensing modulereceives the request. The licensing module checks its cache to determineif a license record exists corresponding to the request. The licensingmodule can then respond with an appropriate message. If the licenseinformation is not found at that level, the licensing module can forwardthe request upstream to determine if the license is of record in anupstream cache. This may continue up to the license server. When and ifa license record is found, the information is copied into the cache ofthe licensing module nearest to the computer originating the request forfuture reference. In accordance with another aspect of systemsincorporating the invention, the licensing modules periodicallycommunicate upstream to fetch license information in order to revise andmaintain currency of their cached license records. By doing so, avalidity request can be addressed by a nearest upstream agent.Furthermore, periodic checking can permit management of request messagetraffic on the license server.

In accordance with an exemplary embodiment of the invention, licenseinformation is organized in class and sub-class designations. Licenseinformation maintained on the license server covers blocks of underlyingcomputers rather than the individual desktop computers themselves. Thisprovides for efficient communication of license information between thelicense server, licensing modules, and desktop computers.

Whether used in a personal or commercial computing environment, systemsincorporating the present invention allow client software to be enabledor re-enabled at any time without significant delay. Softwareapplications operating in accordance with the present invention can beinstalled on any computer in the world having access to a publicnetwork, such as the Internet. If so desired, a client application canbe configured to not operate unless it receives acknowledgment of thepresence of a valid license record. As the use of computers expandsglobally, a licensing system in accordance with the present inventioncan ensure that a client application operating on any computer in theworld is properly licensed.

In addition, in a personal or network computing environment, systemsincorporating the present invention can be used to monitor clientapplication use. Such a system can operate by recording information fromlicense validity inquiry requests messages that are received at thelicense server. Client application use, and corresponding details, canbe recorded when the client module sends license inquiry requestmessages back to the license server.

Alternatively, the system can be used in an audit-only mode whereby theclient applications report relevant information back to the licenseserver, but do not require an enabling response message to continueoperating. As the use of computers expands globally, a licensing systemin accordance with the present invention can assist in tracking clientapplication use and proliferation.

Preferred embodiments of the present invention take advantage of thefact that an increasing number of computers, and computer networks, havedirect access to the Internet. Systems in accordance with the presentinvention can utilize the Internet as the medium over which licensevalidity inquiry request inquiries and their corresponding responses aretransmitted.

In accordance with exemplary embodiments of the invention, if a clientapplication does not receive enablement information, the clientapplication is not enabled, or is disabled. Hence, any softwareapplication that contains a client module accordance with the invention,can be automatically enabled, or disabled.

Furthermore, use of client module equipped applications can be tracked.Such a system allows software to be freely distributed while ensuringthat a license is taken for its use, or at the very least, ensuring thatthe use of the software can be tracked.

BRIEF DESCRIPTION OF THE DRAWINGS

The foregoing, and other objects, features and advantages of the presentinvention will be more readily understood upon reading the followingdetailed description in conjunction with the drawings in which:

FIG. 1 depicts a desktop computer in accordance with an exemplaryembodiment of the invention;

FIG. 2 depicts a flow diagram for operating the arrangement of FIG. 1 inaccordance with an exemplary process incorporating the presentinvention;

FIG. 3 depicts a regional server scenario in accordance with anexemplary embodiment of the invention;

FIG. 4 depicts a computer network arrangement in accordance with anexemplary embodiment of the invention;

FIG. 5 depicts a symbolic representation of the computer network of FIG.4;

FIG. 6 depicts an additional exemplary embodiment of the inventionwherein multiple software application licenses are managed; and

FIG. 7 depicts an additional exemplary embodiment of the invention in aportable computer.

DETAILED DESCRIPTION

FIG. 1 depicts a personal computer system in accordance with anexemplary embodiment of the invention. The system includes a personalcomputer 100 that has a client application 103 residing on a hard drive104. The client application 103 is comprised of a software application102 and a client module 108. The computer 100 includes a modem 106. Theclient module 108 operates to enable or disable the software application102 pursuant to a response from a license server 110 in the context oflicense validity inquiries. The license server 110 contains a database112 having license records recorded thereon, and an agent module 114that communicates with the client module 108. The licensing server 110is typically maintained by the software provider who developed thesoftware application 102. Alternatively, the license server 110 can bemaintained by a contracted service provider. In a preferred embodiment,the client module 108 and the agent module 114 communicate over theInternet 116. However, the client and agent can communicate over anypublic network. As used herein, the term public network encompasses notonly networks that are freely available to the public, generally, butalso any private network which can be subscribed to. The depiction ofthe client module 108 is merely for descriptive and illustrativepurposes. The client module 108 can be code nested within the softwareapplication 102.

In accordance with an exemplary embodiment of the invention, the clientmodule 108 automatically initiates a process to determine whether thesoftware application 102 is validly licensed. This can happen each timethe client application 103 is brought up. The licensing module 108operates transparently and utilizes the modem 106 to form a connectionwith the licensing server 110. Once the connection is made, the clientmodule 108 sends a license validity inquiry request message to thelicense server 110. The agent module 114 receives the request andqueries the database 112 to determine whether a license record existsthat corresponds to the client application 103 and computer 100. Thelicense server 110 also can record relevant information contained in thelicense validity inquiry request message to audit the use of clientapplication.

Pursuant to the query, a response message is generated and returned backto the client module 108 by the agent module 114. If the query finds avalid license record, the response message indicates the licenserecord's existence and location in the database 112. The client module108 can record the license record location for future reference. If alicense record is not located in the database 112, an appropriateresponse message is generated and returned. The presence of a recordpermits the client module 108 to enable, or to allow continued operationof (i.e., re-enable), the software application 102.

If the query of the database 112 returns an indication that a licensedoes not exist, the client module 108 can pursue any one of many coursesof action. The first possible course of action is to not enable thesoftware application 102, or to it if it is presently operating. Theclient module 108 also may supply an appropriate message to the userindicating that a license does not exist for the client application.Alternatively, the client module 108 can supply a message instructingthe user as to where and how a license can be purchased. This mayinvolve directing the user to telephone the software provider's salesdepartment, or the message can direct the user to an appropriate Website homepage on a Web server 118 where the software can be purchased.

If a license is purchased via a homepage on the Web server 118, the Webserver 118 can automatically update the database 112 with theinformation supplied by the user or the computer 100 (e.g., IP addresssupplied in the context of a Web session), thereby creating a validlicense record. A subsequent client module license inquiry will allowthe client application 103 to be enabled. If the license purchasetransaction fails for any reason (e.g., a credit card supplied is notapproved), the license record can be removed from the database 112 bythe software provider. This has the effect of disabling the clientapplication in a next license validity inquiry.

The practical effect of such a system is to be able to provide softwarethat is freely distributable. Any user in possession of the clientapplication 103 will not be able to use it until a license is procuredand a license record is established.

An exemplary process of operating the arrangement depicted in FIG. 1 isshown in the flowchart of FIG. 2. The frequency and timing forperforming a license validation check can be selected according to thediscretion of the software application designer. In the exemplaryprocess depicted, the client module performs an initial check each timethe software application is brought up (step 200). The license validitychecking process is initiated (step 202) by utilizing a modem to form anInternet connection between the computer 100 and a licensing server(step 204). This may be done by having the client module instruct themodem to dial a 1-800 number maintained by the software provider thataccesses a local Internet gateway (if used in the United States).

Once the connection is confirmed (step 206), the client module 103 formsa license validity inquiry request message (step 208). The requestmessage may contain information such as the application name, theapplication version number, a date/time stamp, the name of a licenseserver 110 (if several license servers are maintained by the softwareprovider), and a hardware identifier, such as the IP address of thecomputer 100. After formation, the request message is sent to thelicense server 110 (step 210) over a public network*. The agent module114 in the license server 110 forms a query (step 212) to determinewhether a corresponding license record is stored in the database 112(step 214). The agent module 114 also can record audit information fromthe request message (step 213). If the query locates a record of alicense for the request, a response message is returned having a licenseID field comprising a pointer to the location of the license record inthe database 112 (step 218). If the query does not locate a record of alicense for the request, a response message is returned having a nullindication in the license ID field (step 216). The response message isreturned to the client module 108 (step 220) after which the Internetconnection is closed (step 222).

The client module 108 investigates the response message to determinewhether the license ID field contains a license ID (step 224). If thelicense ID field is null, the client module 108 fails to enable thesoftware application, or disables it (step 226). The client module 108may then prompt the user with any variety of messages (step 227). Forexample, the user may be prompted to assess whether a demonstrationperiod of operation would be acceptable. If so, this information can berecorded in the client module 108 and be passed upstream in the contextof a next validity inquiry request message. The server 110 will recordthis information in the database 112. Alternatively, the user can beprompted to contact a sales representative or automated operator topurchase a license, or directed to a Web homepage where a license forthe software application can be purchased. In the event of a licensepurchase, the database 112 can be automatically updated to record thelicense. Thereafter, a validity check will find a license record andallow the client application 103 to be enabled.

If the license ID field contains a license ID, this information isrecorded by the client module 103 for future use (step 228). The clientmodule 108 then enables the software application 102 (step 230). Theclient module may, at this point, start a timer (step 232) for periodicchecking of license validity. Such a validity check is automaticallyinitiated when the timer expires (step 234). The client module also canbe configured to initiate a validity check whenever an interrupt ispresent indicating a certain activity (step 236), such as printing orsaving.

Periodic checks performed at timer expiration, or upon appropriateinterrupt, use the license ID, which is a pointer, to directly accessthe database record corresponding to the license. If the license recordis found, a response message indicates so, the software remains enabled,and the timer is reset. If the record is found empty, it may indicatethat the license has expired. The response message will indicate this,and the software can be disabled. Alternatively, the user may berequested to renew the license within a certain period of time beforethe software application 102 is disabled.

The date/time stamp information passed upstream in the license validityinquiry request message can be used to detect whether the systemdate/time information on the computer 100 has been tampered with. Thisis done by comparing the date/time information passed in the requestmessage with the date/time information maintained on the licensingserver 110. Furthermore, in preferred embodiments of the invention,license ID information is communicated between the client module 108 andthe agent module 114 in an encrypted form, as explained in greaterdetail below.

In the event that no license is found, several response options areavailable which vary according to the requirements of, and discretion ofa designer of the software application 102. As previously mentioned, aresponse can be to provide the user with a phone number through which asoftware license can be purchased, or to direct the computer user to aWeb homepage maintained by the software provider. Alternatively, theclient module 108 can directly initiate a session with the Web server118 that supports a homepage through which the user can purchase alicense. A first screen on such a homepage can prompt the user toindicate whether the purchase of a full license would be desirable, orwhether a demonstration period is preferable to evaluate theapplication. If neither of these options is selected the session isterminated. If the user opts to take a license, the user can be promptedwith questions asking which features in the software application are tobe enabled (the price of the license can be adjusted accordingly). Thesession can conclude with the presentation of a payment screen invitingthe user to enter credit card information, or to call a salesrepresentative in order to supply payment information.

If credit card information is supplied in the homepage session, it canbe gathered using the system disclosed in the U.S. Patent ApplicationSerial Number (BDSM Attorney Docket No. 025553-014) entitled: “Systemfor Securely Storing Information Received Over a Public Network,” byColey and Wesinger, filed on Feb. 6, 1996, and incorporated herein byreference in its entirety. Once the credit card information is entered,a response message can be sent to the client module 108 temporarilyenabling the software application 102. The database 112 can thenautomatically updated with a license record. If a credit card turns outto be invalid, the license server database 112 can be updatedaccordingly by removing the license record and thereby disabling thesoftware pursuant to a next inquiry.

The exemplary inventive system described above allows clientapplications (i.e., software application having client modules) to befreely distributed while reasonably ensuring that they are, or will be,licensed if used. Any software application having a licensing systemclient module attached will not operate unless and until the licensesystem client module receives authority to enable the softwareapplication. Such a system allows global proliferation of the software,even in the form of a copy. However, such widespread use of clientapplications may result in the license server 110 being inundated withvalidity request message traffic. A dedicated license server can be setup to handle all of the license inquiry traffic for a particularsoftware application. Alternatively, some form of traffic management canbe invoked.

Traffic management can take many forms. It can involve establishingregional license servers according to a geographic arrangement thatpermits efficient response to any licensing inquiry request messages. Aclient application initialization process can be used wherein a userenters the location (e.g., zip code, city, and country). Thisinformation can be used by the client module to select an appropriateautodial telephone number whereby a nearest software provider licenseserver can be accessed.

Regional license servers can receive license information propagated froma central licensing server. Client modules can contact their regionallicense server to assess whether license records exist for theircorresponding client applications. Because use of the Internet iscontemplated as a means for communicating licensing inquiry and responsemessages, the regional license server designated for a particular clientmodule can be assigned in accordance with efficient network, and/orgeographic, considerations. This can facilitate provision of a swiftresponse to license validity inquiry request messages.

An arrangement of regional licensing servers in accordance with anexemplary embodiment of the invention is depicted in FIG. 3. Regionallicensing servers 302 are comprised of an agent component 306, adatabase component 308, and a client component 310. A client module in adesktop machine 300 communicates with an agent component 306 in anassigned regional license server 302 over a public access network, suchas the Internet 316. The client component 310 in the regional licenseservers 302 communicates with an agent module 314 in a central licenseserver 304. License information can be systematically directed from thecentral license server 316 to appropriate regional license servers 302in accordance with information supplied when the license is procured.Alternatively, the regional license servers 302 can systematicallyrequest license record information with which to update their databasecomponents 308.

A variation on the regional license servers 302 can be used in alicensing management system incorporating the invention for applicationin a commercial setting. That is, wherein computers are networked in ahierarchical arrangement within a company or institution.

FIG. 4 depicts a commercial network system in accordance with anexemplary embodiment of the invention. Desktop machines 400 areorganized in file server groups. The file server groups are administeredby file server computers 402 through networks 404. The file servergroups can, for example, serve various design teams in a research anddevelopment facility of a corporation. The file servers 402 in the R&Dfacility are, in turn, tended by a minicomputer 406. The minicomputer406, and minicomputers 408 and 410 at other facilities (e.g.,manufacturing and sales) are networked under a main computer 412located, e.g., at the headquarters of the corporation. In accordancewith an embodiment of the invention, each desktop computer 400 containsa client module for monitoring one or more client applications. Theclient modules in the desktop computers 400 communicate upstream withlicensing modules contained respective file server computers 402. Thelicensing modules in the file server computers 402 communicate with alicensing module in the minicomputer 406, which licensing module, inturn, communicates with a licensing module in the main computer 412 atthe corporation headquarters. The licensing module in the main computer412 uses a public network, such as the Internet 414, to communicate witha license server 416 maintained by a software provider who developed thesoftware application(s) on the desktop computers 400. Main computers 413and 415 at other corporations or institutions also can communicate withthe license server 416 to communicate license inquiry and responsemessages.

A representation of the network scenario depicted in FIG. 4,illustrating licensing system components in accordance with an exemplaryembodiment of the invention, is shown in FIG. 5. Various networkcomputers are depicted in symbolic form to assist in illustrating thecomponents involved in the exemplary embodiment of the invention.Desktop computers 500 contain software applications 514 having licensingsystem client modules 516 attached thereto. The desktop computers 500are tended by group file servers 502 on networks 504. Each of the groupfile server computers 502, minicomputers 506, 508 and 510, and a maincomputer 512 contain a licensing module. A licensing module comprises anagent component 518, a cache memory component 520, and a clientcomponent 522. The license server 526 maintained by the softwareprovider contains an agent module 524. For any of the licensing modulesin the intermediate computers between the desktop computer 500 and thelicense server 526, the licensing module's client component 522communicates with the agent component 518 of an upstream licensingmodule, or with the agent module 524 of the license server. Thelicensing module's agent component 518 communicates with a downstreamlicensing module's client component 522, or a client module 516 in adesktop computer 500. Communication between the upper-most licensingmodule in the internal network (i.e., licensing module 512) and theagent module 524 in the license server 526 is conducted over a publicnetwork, such as the Internet 528.

An audit function can be implemented in a networked embodiment of thepresent invention in a number of ways. For example, the upper-mostlicensing module 512 can maintain software, such as an audit tool 530,that tracks use of client applications in underlying computers in thenetwork. An audit report can be periodically generated and sent upstreamto the license server 526. The license server 526 can record andinterpret the audit report to monitor use of client applicationsoftware. Alternatively, license validity inquiry request messagetraffic from individual client applications can be recorded in thelicense server 526. Audit information can be used to generate billinginvoices.

An additional aspect of the aforementioned audit system permits an MISmanager at a corporation or institution to monitor the use of clientapplications for internal audit purposes. Such a system operates bymonitoring license inquiry traffic passing through a network to and froma license server. In an exemplary embodiment, such a system involvesmaintaining internal auditing software (e.g., a tool or utility program)in an upper-most level licensing module in an internal network. A reportcan be generated by the internal auditing software tool. Data in thereport can be derived from information collected at the upper-mostlicensing module. The MIS manager can use the internal audit reports tomanage the licensing arrangements of the client applications on thenetwork. For example, if a network of twenty desktop computers isfrequently using a maximum number of floating licenses for a particularclient application, the MIS manager can ascertain this by reviewinginternal audit records, and take appropriate action.

In accordance with preferred embodiments of the invention in a networksetting, each of the agent-type components, and each of the client-typecomponents are generic. That is, any given agent component 518, and theagent module 524 in the license server 526, is substantially similar.The same is true of the client components 522 and the client modules inthe desktop computers 500. The parameters maintained by, and passedbetween various license system elements defines the licensing systemstructure.

In accordance with a preferred embodiment of the invention, the licensesystem operates by distributing licensing information to the cachecomponents 520 in the licensing modules in response to inquiry requests.The information contained in a particular cache component 520 isspecific to subordinate software applications 514, or licensing modules.In accordance with a preferred embodiment, license information isorganized by class designations. Individual licenses for clientapplications on desktop machines 500 can be covered by sub-classlicenses maintained in the cache components 520 in the file servercomputers 502. The sub-class licenses on the file server machines 502can, in turn, fall under a class license maintained in the cachecomponent 520 of the minicomputer 506. The class license maintained onthe minicomputer's licensing module can be designated under a blocklicense maintained in a cache component 520 of the main computer 512.The client component 522 of the main computer's licensing modulecommunicates with the license server 526 to verify block licenses.

Validity inquiry traffic is managed in the exemplary system of FIG. 5through the use of the aforementioned license class designationstructure and through periodic updating of caches in licensing modules.By maintaining license information in a class/sub-class designation, asingle license validity inquiry generated by, for example, a fileserver's licensing module, can enable a sub-class license that coversthe client applications of all of the desktop computers 500 in the fileserver's group. This is generally more efficient than having eachdesktop computer 500 individually validate its own license through thelicense server 526. Furthermore, because the sub-class licensemaintained on the file server itself can fall under a class licensemaintained on the minicomputer, the validity inquiry by the file servermay be addressed by the minicomputer rather than forwarding the requestfurther upstream.

In accordance with a preferred embodiment of the invention, licensingmodules periodically and systematically initiate license validityinquiries upstream. The responses to the periodic inquiries are recordedinto the cache components of the licensing modules. As a result, clientmodules and client components need ordinarily communicate with a nextupstream agent to be enabled, re-enabled, or to update their caches.Periodic self-validation updating of the licensing modules also providesfor more uniform request traffic on the licensing server 526. This canprovide efficiencies in propagating license information from thelicensing server in response to license validity inquiries. Of course,the foregoing system can operate by passing individual license validityrequest and response messages through the licensing modules.

The result of the hierarchical arrangement is to control the flow ofvalidity inquiry traffic received and responded to by the licensingserver. If a license server dedicated to a particular client applicationis employed, the license server may be able to handle all of the licenseinquiry traffic received. However, if a single license server handleslicense validity inquiry requests for a variety of client applications,request traffic management may be needed. By arranging the system in ahierarchical fashion and designating the licenses in accordance withclass and hierarchical subclass designations, the licensing server canmanage request traffic for a several different client applications.

Client components and modules contain a set of license managementprocedures for handling license record information. In accordance withan exemplary embodiment of the invention, three validation proceduresare used: Check Out License, Validate License, and Check In License.Check Out License is responsible for the initial enablement of a clientapplication. Validate License is responsible for periodic re-enablementof a client application. Check In License can be used for decrementing afloating license count, or indicating client application status in adatabase license record when use of a client application is completed.Check In License also may be used for disabling a license or featureafter its use in the event that there is a per-use cost associated withthe software. The following exemplary process descriptions are providedfor a case wherein a client application is validating itself directly,or indirectly (i.e., through one or more licensing modules) over theInternet.

Each of the procedures involves initially forming a connection with acorresponding upstream agent. The agent can be the agent component of alicensing module in an upstream network file server, or like machinecontaining a licensing module. Or the upstream agent may be the agentmodule in a license server in which case the connection is formed over apublic network, such as the Internet.

When a client application is first brought up, the Check Out Licenseprocedure is initiated. The purpose of the Check Out License procedureis to enable the software application to which the client module isattached. In addition, the Check Out License procedure can be used by totrack the proliferation of a client application. In accordance with anexemplary process incorporating the invention, the client module's CheckOut License call generates a client data structure containing: the nameof the software application, any feature name(s) that is to be enabled,the name of the upstream agent component/module, a hardware identifierof the computer containing the client application, a date/time stamp,and a version number of the licensing system. Other fields are createdin the client data structure that are filled in by the upstreamlicensing module or license server.

Prior to, concurrently, or following the formation of the client datastructure, the client module forms a connection with the upstream agentcomponent designated in the client data structure. Once the connectionis completed, the Check Out License procedure sends a license validityinquiry request message to the upstream agent, which request messagecontains the contents of the client data structure. Alternatively, theentire data structure can be sent. The information from the client datastructure is used by the upstream agent to form a query with which todetermine the existence, if any, of a license record for the clientapplication. In the case where the upstream agent is the agent module inthe license server, the query is performed on the server database. Inthe case where the upstream agent is an agent component in a licensingmodule (e.g., in a file server) the query is performed on the licensingmodule's cache component.

If the query finds a license record in the database or cache, thelocation of that record, in the form of a pointer, is generated forstorage in a license ID field in the client data structure. Thelicensing module also generates an authorization ID for storage in afield of the same name in the client data structure. If the query doesnot locate a license record, the license ID field and authorization IDfield are left blank (i.e., nulled). Following the query, a licensevalidity inquiry response message is formed by the agent and returned tothe client. The response message contains the license and authorizationIDs, if any, that are to be stored in the client data structure.

The client module investigates the client data structure contentreturned by the agent component/module to analyze the license andauthorization ID information contained therein, if any. If these fieldsindicate the presence of a valid license, the client module enables thesoftware application. The license and authorization IDs are stored inthe client data structure in the client module for future licensevalidation checks. If the data structure fields for the license andauthorization IDs are null, the client application is not enabled andthe client data structure is deleted from the client module.

The database or cache query also may involve a comparison of thedate/time stamp contained in the client data structure with date/timeinformation maintained by the license server or license module system.This added security measure can detect a user's tampering with systemtime and date information on their computer. If the particular softwareapplication is operating in a demonstration mode for a predefined periodof time, the date/time stamp passed in the client data structure can beused as an initial check of whether the demonstration period hasexpired. If there is date/time corruption, the client application can bedisabled.

In an audit function, the contents of a message generated by the CheckOut License procedure can be recorded in the license server or upstreamlicensing module. Relevant information recorded by the license servercan include, but is not limited to, the hardware identifier of thecomputer upon which the client application is loaded (e.g., the IPaddress), the application name, feature names, and the applicationversion number. Additionally, a client module registration number, orlike identifying means, can be nested in a client application. Thisregistration number also can be passed upstream in a request message foraudit recordation. A client module registration number allows a softwareprovider to track the proliferation paths and patterns of copied clientapplications. Consequently, a software provider can determine the sourceof copied software. A software provider can force a user to attach anon-connected computer to a network access point by supplying a promptindicating to the user that a client application will not enable unlessand until it checks in. Consequently, if the user chooses to use theclient application (i.e., attach the computer to a network accesspoint), the software provider is informed of the client application'suse.

A second process initiated by a client module or a client component isthe Validate License procedure. This process determines whether apreviously enabled client application is still validly licensed. Theprocedure can be called at any time. For instance, the initiation of theValidate License procedure can be in response to a timer expiration(i.e., a periodic check) or at the appearance of a system interrupt(e.g., printing is selected). The Validate License procedure, inaccordance with an exemplary process incorporating the invention,generates a new client data structure containing: the name of thesoftware application, any feature name(s) that is to be enabled, thename of the upstream agent component/module, the license ID, theauthorization ID, a date/time stamp, and the version number of thelicensing system.

Following completion of the upstream connection, the Validate Licenseprocedure sends a license validity inquiry request message to theupstream agent, which request message contains the new client datastructure contents. The license ID information in the client datastructure is used by the upstream agent to directly access the memorylocation where the license record was previously located. If the queryfinds a license record, a new authorization ID is generated by the agentand stored in the authorization ID field in the client data structure.If a license record no longer exists, the license ID field andauthorization ID field are nulled. A license validity inquiry responsemessage containing the client data structure is then formed by the agentand returned to the client module.

The client module investigates the data structure contents returned inthe response message to analyze license and authorization IDinformation. If the authorization ID indicates the continued presence ofa valid license, the client module allows the client application toremain enabled. The new authorization ID is stored in the client datastructure in the client module for future license validation checks orto check in the license. If the data structure fields for the licenseand authorization IDs are null, the client application is disabled andthe client data structure is deleted. Alternatively, the user can beprompted to indicate whether a new license would be desirable. If so,any of the procedures previously described can be used to procure a newlicense (e.g., access a Web homepage).

The Check In License procedure can be used to return a license ordisable a feature when a user has completed use of the clientapplication or a feature contained therein. The procedure, in accordancewith an exemplary process incorporating the invention, generates a newclient data structure containing: the name of the software application,any feature name(s) that is to be disabled, the name of the upstreamagent component/module, the license ID, the authorization ID, adate/time stamp, and the version number of the licensing system.

Following completion of the upstream connection, the Check In Licenseprocedure sends a license check in request message to the upstreamagent, which request message contains the new client data structurecontents. The license ID information in the client data structure isused by the upstream agent to directly access the memory location wherethe license record was previously located. The existing license recordis modified to indicate the disablement of a feature, or is deleted (ifthe agent is the agent module in the license server). If the agent is anagent component in a licensing module, the license is designated fordeletion. This information is passed upstream in a license check inrequest message subsequently sent up stream by the licensing module inits next periodic self-validation. The license and authorization IDfields of the client data structure are nulled, and a license check inresponse message containing the client data structure is then formed bythe agent and returned to the client module. The client module thendeletes the client data structure.

It is important to note that, in a network setting incorporating theaforementioned exemplary processes, the client components of thelicensing modules also can use the Check Out, Check In, and ValidateLicense procedures to update licensing records stored in their cachecomponents. Performance of these procedures by the licensing modules issubstantially similar to performance of the procedures by a clientmodule. However, the corresponding license ID, instead of referring toan individual client application, can refer to a class or sub-classlicense that covers a block of underlying client applications, orlicensing modules. As previously mentioned, the Validate Licenseprocedure can be periodically initiated by the licensing modules tosystematically update the contents of their caches and to provide forrequest traffic management received at the license server.

Automatically auditing cached license records improves the likelihood ofa client application, or client component, finding a current licenserecord in a next upstream agent in the context of a Check Out orValidate License procedure.

A licensing system in accordance with the invention, in a preferredembodiment, involves inserting licensing system code into a pre-compiledversion of a software application and then compiling that applicationinto a single executable client application.

However, in accordance with another embodiment of the invention, thelicensing system can be provided as a module that is inserted into to anexisting software structure on a computer network. Such a system can beused to monitor software application use in a computer network that doesnot otherwise have a means to audit application use. This type of systemcan be used by individuals, such as MIS managers, who wish to auditsoftware application use activity in a network. In an exemplaryembodiment, a client module installed in an individual desktop computer“wraps around” software applications selected for monitoring. When thewrapped application used, or seeks a floating license from a fileserver, a licensing module installed in the file server computer recordsthe activity. In a floating license system, the licensing module can beconfigured to always reserve a license for use by certain individualcomputers (e.g., the CEO's computer). Audit records generated by thelicensing module can be periodically checked by the MIS manager to seeif adjustments are needed (e.g., purchase a greater number of floatinglicenses).

A variation of the latter system also can be installed in existingnetwork to retrofit a licensing management system. Client modules wrappreviously installed applications thereby converting them into clientapplications. The client modules on individual computers monitor and/orcontrol client application use. The client modules can report tolicensing modules in upstream file servers, or report directly to alicense server over a public network. Such a system can be used bysoftware providers as an aftermarket component installed on top ofexisting software systems. In such a setting, a client module can beresponsible for handling license validation of more than one clientapplication loaded on the computer. If two or more client softwareapplications on a computer are by a same software provider, the clientmodule can generate a single validity request message covering eachwrapped client application. Such a system has the effect of providing ageneric licensing validation system for all of the licensed software ona desktop machine supplied by a particular software provider.

An exemplary licensing system that can be retrofitted in an existingcomputer network is depicted in FIG. 6. An individual computer 600 has aclient module 618 installed therein. The client module 618 is wrappedaround one or more software applications 620, 622, 624 and 626 to createclient applications. In a preferred embodiment, the client applicationsare specific to the software provider who is retrofitting theirnetworked software with the licensing system. However, if a licenserecord database is configured as a “clearing house,” whereby a multitudeof software providers consolidate license information in a single serveror a network of license servers, the client module 618 can validatesoftware licenses by a variety of software providers. The client module618 can enable, or validate, the client applications by communicatingwith a licensing module in a file server 602. The licensing module inthe file server 602 also is a retrofitted component in the licensesystem. Licensing modules are installed in each of the computers (e.g.,file servers, minicomputer, main computers) that form the networkhierarchy. Operation of such a system is substantially similar to thatof a network embodiment of a license management system described above.Alternatively, client modules can communicate directly with a licenseserver 604 over a public network, such as the Internet 616.

As mentioned in the Background above, software licensing managementsystems conventionally maintain proprietary, that is applicationspecific, licensing code in software applications (i.e., applicationportion). Corresponding proprietary licensing code also is maintained inthe file server or like network element (i.e., authenticator portion).Consequently, a conventional system typically has to maintain severalseparate licensing validation programs on a file server to check each ofthe software applications loaded on sub-tended computers. A system inaccordance with the latter embodiment of the invention provides for ageneric solution whereby a single client module is maintained on thedesktop computer that handles all of the licensing management for thecomputer's client applications. Hence, the computers and correspondingservers need not contain several licensing system applications eachhaving proprietary code.

Because the exemplary embodiments described above describe use of theInternet as a communications medium, the hardware identifier maintainedin the client data structure is preferably the IP address of a computer.However, any other suitable hardware identifier can be used to identifythe computer on which a client application or licensing module isloaded. For example, Intel's Pentium.RTM.processor contains an internalserial number that can be used as a hardware identifier. Alternatively,a hardware module can be provided that is designed specifically for alicensing system in accordance with the present invention. Such ahardware module can be attached to a parallel port on a computer can beused as a tag to identify the computer. The client module in thecomputer scans the parallel port to acquire the computer's hardware IDfor insertion into a client data structure.

The license ID maintained in the client data structure is used as apointer to a location in the cache or database of a correspondingupstream licensing agent or server. The pointer designates the locationof the licensing record. A license record at any given level canrepresent a relationship between the agent and an underlying client.That relationship, as designated by the license ID can be used as auniversal designator to replace designating a particular client/agentpair by application name, feature name, IP address, agent name, etc. Useof a license ID provides a more efficient means with which to track andcommunicate information regarding a particular license.

The authorization ID is used as a means to indicate the status of alicense in response to an enablement or validation inquiry. Theauthorization ID also can be used as an acknowledgement to a Check InLicense procedure that permits a client application to delete a clientdata structure. Furthermore, the authorization ID also can be used toreturn a status message containing an error code, an indication that theserver or agent is presently too busy to handle a query, an indicationof a connection or communication failure, or any other like message.Another important task facilitated by the authorization ID is its use insupporting encrypted communication between a client and an agent.

Communication between clients and agents, in accordance with preferredembodiments of the invention, is encrypted. In an encryption schemeaccording to an exemplary embodiment, the authorization ID is used topass back a key for use in encryption processing. The encryption schemeinvolves maintaining identical encryption engines in correspondingclients and agents. The key passed by the authorization ID is used as acommon seed, or initialization vector, for initializing the respectiveencryption engines for encryption and decryption of messages. A new keyis generated and passed back each time an agent responds to a clientinquiry, which key is used in a next round of communications. The key isstored in the client module in the context of storing the client datastructure (containing the authorization ID). In a subsequentclient-to-agent communication the key is used for client encryption of amessage. The message is then decrypted at the agent using the commonkey.

In order to allow encryption synchronization, all of the data structurefields in an initial communication between a client/agent pair areunencrypted. Subsequent communications have certain fields encrypted. Inresponse to an initial communication, the agent passes back a first key.The message is then re-sent having designated fields of the client datastructure encrypted. The response passed back by the agent in a nextcommunication contains a new key for use in a subsequent communication.In this way, the client and agent maintain encryption synchronization bysupplying the same key to their respective encryption engines. Inaccordance with a preferred embodiment, the key is a random numbergenerated by an agent.

The encrypted fields of the data structure contents passing between aclient and agent include the license and authorization Ids, and anyproprietary data required for validation, such as floating licenseinformation. All of the fields of the data structure contents can beencoded, however, the application name, feature name, hardwareidentifier, and a licensing system version number are preferably leftunencoded. In the event that there is lack in synchronization, a clientor agent can look to the unencoded information and revert back to a mostrecent encryption key. If there is still lack of synchronization, arequest is passed that the client return to the initial message state,thereby allowing both the client and agent encryption engines to reset.

The frequency of validation checks is application dependent. A softwaredesigner can select when and how often validation checks are to occur,if at all. The licensing system can be configured in accordance with theneeds of a particular application. The software license can bevalidated, or enabled, each time the application is brought up on acomputer, or each time a particular feature is used (e.g., printing).The software license also can be validated in response to the expirationof a timer (i.e., periodic validation). If the response to thevalidation check is returns a null license ID, the client application isdisabled. To prevent a user from tampering with a client application, ora licensing module associated therewith, in an effort to disablevalidation checking, any number of watchdog timers can be nested in theclient application. The nested watchdog timer can be used toperiodically self-check the client application to determine whether ithas been validated within the watchdog period. If so, the watchdog timeris reset. If not, a validation check can be initiated or the clientapplication can be disabled.

Establishing a database license record in the licensing server can beperformed in a variety of ways. Software can be purchased and paid forin an interactive commercial transaction conducted over the Internet, asdescribed above. The result of such a transaction is to establish alicense record in the licensing server database. A subsequent validationcheck by the client application will allow the software to be enabled.The database entry also can be formed by pre-authorization. If thesoftware is purchased from a vendor, the vendor, in the context of thetransaction can perform the database entry shortly after the software issupplied to the user or company. When the software is brought up on theclient computer, an initial validity check will return an enablementresponse because a license record has already been established.

Alternatively, software can be pre-enabled with a temporary term licensethereby providing a software provider with a time window in which toestablish a license record. Other techniques for establishing an entryin the database, and thus enabling the corresponding client application,include using automated telephone operator systems. A client can call atelephone number and use a touch-tone phone to respond to promptspresented by an automated operator. Hence, any mechanism forinitializing the database, and consequently automatically enabling thesoftware, is deemed suitable.

Another aspect of systems operating in accordance with the invention isfeature enablement. The systems described above can be used to enableand disable particular features in a client application. Such asituation may occur wherein a software application has several levels ofoperating capability. For instance, a user can selectively enhanceoperating capability by selecting features defined in a software featureapplication menu. In response, an associated client module can invokethe Check Out License procedure wherein the desired feature name ispassed upstream. The license, of course, does not exist yet, but thesystem can be configured to direct the user to, or provide the userwith, a feature enablement menu that requests that the user enter creditcard information, as described above. Alternatively, the system can beorganized to automatically initiate a process that creates a licensewhen new software is brought up. This can involve a mechanism that formsa Web server connection and supplies an authorization message thatcreates a database license entry. For a commercial client, a softwareprovider can monitor the activation and use of client applicationfeatures and bill the client accordingly.

As previously discussed, systems in accordance with the presentinvention can be used to audit the use and proliferation of software.Attachment of a licensing module to a software application causes thatsoftware application to report back to a licensing server at some point.If the client module or software application is configured to reportback the first time that the software application is brought up, asoftware provider can keep track of, or audit, which and how manymachines the software application is operating on. The licensing servercan be set to initially enable any request received for the softwareapplication being audited. At the discretion of the software provider,the software application can be turned off at anytime. The softwareprovider can respond to subsequent licensing enablement or validationrequests by supplying a prompt inviting the user to purchase a license.A variation on the audit function can be used to log questionable useractivity.

An additional security aspect of systems in accordance with theinvention is the provision of an activities log in the client module,licensing modules, or license server. Such a log gathers informationassociated with any or all validation requests, or irregularities.Information gathered in such a log may include, but is not limited to,data/time stamps (to ensure periodic checking is not interfered with),and the identity of a machine corresponding to the origin of an inquiryrequest. The foregoing information can be used to facilitate theinvestigation of a pirate if the pirate's activities require legalattention.

Software version control can be provided in accordance with anotheraspect of the invention. Software version number information can bepassed upstream in the context of a license validity inquiry requestmessage. If the software version has expired, a message can be passedback in the status field of the authorization ID indicating thisinformation to a user. The user may then be asked to license and procurea new version of the software. Software version control can be used toprevent version collision, and to force users to stop using expiredsoftware versions by simply disabling them.

Another aspect of the invention is license system version control. Bymonitoring and controlling the version of the license system that isoperating, a common denominator between client and agent communicationscan be maintained. Alternatively, in the event that different versionsare allowed, appropriate translations of data fields can be made toensure the different versions can still communicate. In a preferredembodiment, a given client can only communicate with an agent of thesame or newer version. Licensing system version control also permitsmodifications to be made to improve, enhance, or entirely change anencryption schemes used by the licensing system.

The present invention also can be used to maintain a software usebilling system for use with commercial client applications. A billingsystem in accordance with the invention can use client application andfeature use information from the audit system. The audit systeminformation can be translated into billing statements. Consequently, acommercial client can optionally be billed only for what they have used,rather than a set up-front, annual, or monthly amount.

Most computers sold today have pre-installed modems. Individual desktopmachines operating in a DOS, Windows, OS/2, or like environment, canutilize their pre-installed, or aftermarket modems to initiatecommunications with an upstream agent or license server. Most commercialcomputers are designed for incorporation into network settings.Commercial computing systems, such as workstations, may operate in aUNIX environment. The UNIX environment is well suited to operation inaccordance with the invention. Most UNIX workstations are furnished withnetwork cards permitting them to be network connected. Such networkedcomputers thus have ready direct access to Internet or gateway nodesthrough which a license server or licensing module can be accessed.

The particular connectivity associated with a system incorporating theinvention is not critical. For example, a desktop machine can contain anEthernet network card, ISDN connection card, Internet card, conventionalmodem, terminal adapter, or like device, with which to gain access toand communicate with a license server or licensing module. Any acceptedform of connection between two more computers can be used. Acommunications protocol in an Internet environment is based on a TCP/IPprotocol, or a derivative thereof. However use of other communicationprotocols such as IPX/SPX (NOVEL), or like protocols, also are suitablefor facilitation of communication in the present invention.

When using the Internet, the medium through which to check licensevalidity, preferred embodiments of systems according to the inventionoperate using a TCP (Transfer Control Protocol) mechanism rather than aUDP (Universal Datagram Protocol) mechanism. In a TCP communication, aconnection is first formed before any information is transferred. Thatis, an interactive two-way session is established. In a UDPcommunication, a message is sent without forming a connection. Themessage is routed in accordance with its destination addressinformation. The message's receipt is not guaranteed. More importantly,response time to a messages sent by UDP is unknown. More specifically,if heavy network traffic is present, a UDP-based message may be delayed.Consequently, there can be an unacceptable delay in enabling a clientapplication. Using a TCP messaging format guarantees a response, even ifthat response indicates that a connection cannot be made. A decision canbe made whether to re-attempt communication immediately or at a latertime. A TCP connection also is more secure because data is not beingcast into the network without guarantee of receipt, as is the case withUDP communications.

One scenario where UDP communication can be utilized is in an auditsystem incorporating the invention. A client application can generateand send a UDP message when it is initially brought up, or whenever acomputer upon which the client application is loaded is attached to apublic network.

In a non-connected or portable computer, such as a laptop, an exemplarylicensing system in accordance with the invention can involve running aninternal licensing module, or an agent component thereof, on the laptopcomputer itself. An exemplary embodiment of such an arrangement isdepicted in FIG. 7. The agent component 706 of the licensing module 702acts on behalf of a license server 712 during the periods that theportable computer 700 is out of communication with the license server712. The agent component 706 can receive and respond to license validityinquiries generated by a client module 704 on software application 705that is loaded on the portable 700 while the portable 700 is in transit.Audits of client application use can be stored in the cache 708 of thelicensing module 702. When the portable 700 is re-connected to a networkaccess point, such as an Internet 716 gateway, the client component 710of the licensing module 702 can establish communication with the agentmodule 714 in the license server 712 to refresh the information in itscache component 708 and/or supply any audit data upstream. If the userhas not connected the laptop to a network access point for a prolongedperiod of time, the user can be prompted accordingly. This can be donepursuant to the expiration of a timer.

Systems not having network, or Internet access, can still be enabled inan automated, albeit semi-manual fashion. The licensing module in asoftware package to run on a non-networked machine can contain a tagindicating this fact. The user may be prompted to call a number andreceive recorded information for enabling the software. Thisinformation, of course, requires initial manual entry to enable thesoftware, and periodic manual entry to validate the software. Thevalidation check can be performed by prompting a user to call a numberto automatically receive further enablement instructions. Suchinstructions are only provided if the license remains valid. Optionally,instructions can be automatically be returned by fax in response to avalidation request phone call.

A licensing module can be operated as a proxy agent on a firewallseparating a protected computer from a public network to which thecomputer is attached. Such a firewall proxy agent can operate inaccordance with the system disclosed in the U.S. Patent ApplicationNumber (BDSM Attorney Docket No. 025553-013), entitled: “Firewall SystemFor Protecting Network Elements Connected To A Public Network,” by Coleyand Wesinger, filed on Feb. 6, 1996, and incorporated herein byreference in its entirety. The foregoing application describes a systemfor preventing unauthorized access to network elements protected by afirewall. The firewall operates by maintaining a plurality of proxyagents that are assigned to verify and connect any incoming accessrequests. A proxy agent is usually assigned based on the port numberassociated with an incoming access request. In the present case,however, a proxy agent for validating a license is assigned for arequest originating from a desktop machine that resides behind thefirewall (i.e., is protected by the firewall). Hence, the proxy agentacts as licensing module performing all of the previously describedtasks associated with licensing modules. For example, a proxy agentlicensing module can receive and forward a license validity inquiryrequest message from a client application residing on a protectedcomputer. The proxy agent also acts on behalf of the responding agent toaccept a inquiry response message and then pass the response back to theprotected computer on behalf of the responding agent. The proxy agentalso can facilitate periodic updates of a cache component maintainedtherein. The proxy agent is the only IP address visible outside of thefirewall. The foregoing system protects the identity of the clientapplication computer because the proxy agent acts on behalf of thecomputer when communicating with the outside world.

In an exemplary commercial embodiment, the present invention can takethe form of a software package comprised of floppy disks, a CD-ROM, oreven a downloadable package. The software package may consist of alibrary of object modules that can be selected, as needed, by a softwareapplications designer. The designer may select various object modulesfrom the library for insertion into a pre-compiled version of a softwareapplication. The entire software application, including the selectedobject modules, are compiled to create a single executable clientapplication. The selection of insertion points and frequency is left tothe discretion of the designer. Validation check watchdog timers can bedistributed throughout a software application. Validation checks can beinserted to correspond to various interrupts, or procedure calls withinthe software application (e.g., printing, saving). An opening routine inthe software application can be selected for insertion of an initiallicense validation or enablement check.

Because the present invention involves the operation of computingsystems, an exemplary embodiment of the invention can take the form of amedium for controlling such computing systems. Hence, the invention canbe embodied in the form of an article of manufacture as a machinereadable medium such as floppy disk, computer tape, hard drive disk, CDROM, RAM, or any other suitable memory medium. The invention can also beembodied in a form that can be accessed and retrieved over a publicnetwork, such as the Internet, and downloaded onto a machine readablememory medium. Embodied as such, the memory medium contains computerreadable program code which causes one or more computing systems uponwhich the licensing system is running to function or carry out processesin accordance with the present invention.

The invention has been described with respect to several exemplaryembodiments. However, one skilled in the art will readily appreciate andrecognize that the licensing system or method of operation in accordancewith the invention can be applied in any computing system using licensedsoftware, which systems are preferably attachable to a public network,such as the Internet. The invention provides the benefit of being ableto freely distribute licensed software incorporating the invention withreduced apprehension of the software being illicitly copied or usedwithout its being properly licensed. Alternatively, a system inaccordance with the invention can be used to track and maintain recordsof the proliferation and use of software incorporating the invention.

The invention has been described with reference to particularembodiments. However, it will be readily apparent to those skilled inthe art that it is possible to embody the invention in specific formsother than those of the embodiments described above. Embodiment of theinvention in ways not specifically described may be done withoutdeparting from the spirit of the invention.

Therefore, the preferred embodiments described herein are merelyillustrative and should not be considered restrictive in any way.

The scope of the invention is given by the appended claims, rather thanby the preceding description, and all variations and equivalents whichfall within the range of the claims are intended to be embraced therein.

1. A commercial network licensing system comprising: a plurality ofmachines in network communication through a private network, each of theplurality of machines including a client licensing module associatedwith a client software application disposed therein; at least one fileserver including a licensing module, the licensing module being innetwork communication with said client licensing modules of saidplurality of desktop machines; a license server in network communicationwith said at least one file server over a public IP-compliant network;and the licensing module of said at least one file server configured tomonitor the use of said client software applications on said pluralityof desktop machines and send a report to said license server over thepublic IP-compliant network.
 2. The commercial licensing system of claim1, wherein said client licensing module sends license inquiryinformation to said licensing module in said at least one file server.3. The commercial licensing system of claim 2, wherein said licensingmodule of said at least one file servers uses the license inquiryinformation to prepare a billing statement.
 4. The commercial licensingsystem of claim 1, wherein said at least one file server furthercomprises an audit tool for monitoring use of software on said pluralityof machines.
 5. The commercial licensing system of claim 4, wherein saidclient licensing modules of said plurality of machines comprisesfloating licenses, and the audit tool is configured to gatherinformation regarding the maximum number of uses of a softwareapplication.
 6. A commercial network licensing system comprising: aplurality of machines in network communication through a privatenetwork, each of the plurality of desktop machines including clientlicensing module means associated with a client software applicationdisposed therein; at least one file server including licensing modulemeans in network communication with said client licensing modules ofsaid plurality of desktop machines; a license server in networkcommunication with said at least one file server over a publicIP-compliant network; and the licensing module means further comprisingmeans for monitoring the use of said client software applications onsaid plurality of desktop machines and send a report to said licenseserver over the public IP-compliant network.
 7. The commercial licensingsystem of claim 6, wherein said client licensing module means furthercomprises means for sending license inquiry information to saidlicensing module means in said at least one file server.
 8. Thecommercial licensing system of claim 7, wherein said licensing modulemeans of said at least one file servers further comprises means forutilizing the license inquiry information to prepare a billingstatement.
 9. The commercial licensing system of claim 6, wherein saidat least one file server further comprises audit tool means formonitoring use of software on said plurality of machines.
 10. Thecommercial licensing system of claim 9, wherein said client licensingmodules of said plurality of machines comprises floating licenses, andthe audit tool means further comprises means for gathering informationregarding the maximum number of uses of a software application.
 11. Acommercial network licensing system comprising: at least one machineincluding a client licensing module associated with a client softwareapplication disposed therein; at least one file server including alicensing module, the licensing module being in network communicationwith said client licensing modules of said at least one machine; alicense server in network communication with said at least one fileserver over a public IP-compliant network; and the licensing module ofsaid at least one file server configured to monitor the use of saidclient software applications on said plurality of desktop machines andsend a report to said license server over the public IP-compliantnetwork.
 12. The commercial licensing system of claim 11, wherein saidclient licensing module sends license inquiry information to saidlicensing module in said at least one file server.
 13. The commerciallicensing system of claim 12, wherein said licensing module of said atleast one file servers uses the license inquiry information to prepare abilling statement.
 14. The commercial licensing system of claim 11,wherein said at least one file server further comprises an audit toolfor monitoring use of software on said at least one machine.
 15. Thecommercial licensing system of claim 14, wherein said client licensingmodule of said plurality at least one machine comprises a floatinglicense, and the audit tool is configured to gather informationregarding the maximum number of uses of a software application.